Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Timchenko (Timchenko), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Timchenko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on March 30, 2022.

Claimant alleges, inter alia, unsuitability with respect to stock options strategy  –  December 2021 to March 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Karis (Karis), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Karis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on April 04, 2022.

Claim alleges Mr. Karis misrepresented and made unsuitable recommendations to the claimant’s deceased mother for Atlas Growth Partners, LP.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Glogau (Glogau), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Glogau recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on April 02, 2022.

The client alleges the financial advisor invested his account in the market without the client’s authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brende (Brende), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brende recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,228.04 on April 07, 2022.

The client alleged the advisor recommended an inappropriate closed end mutual fund in September of 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullum (Sullum), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Sullum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Makarczyk (Makarczyk), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Makarczyk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $414,500.00 on April 01, 2022.

Claimants allege that in around 2010, they were sold two unsuitable variable life insurance policies and a variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Welch (Welch), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Welch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 01, 2022.

Recommending and selling securities without adequate due diligence, breach of contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bruhn (Bruhn), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruhn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $49,938.25 on April 07, 2022.

The client alleges he was given incorrect information concerning a frequent trading policy and as a result lost earnings on his investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Parker Hansen (Parker Hansen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parker Hansen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges the managed account recommended to her was not in her best interests and that the performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Binstock (Binstock), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Binstock recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $212,000.00 on April 08, 2022.

Client is claiming the rep lied to him. Committed fraud in the way of explaining products and income to him

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